Export controls and research collaborations

UK export controls restrict the export of goods or technology, with the aim of preventing proliferation of weapons of mass destruction (WMD) and countering terrorism. The controls apply to the physical movement of goods or the transfer of software, data, technology or know how by any means (including by email and telephone) from the UK to a destination outside the UK.

Where an export falls under one or more of the controls, a licence may be required before any transfer can be made. There is no automatic exemption for academics and researchers.

Failure to obtain an appropriate licence to export controlled goods is a criminal offence.

Export controls apply to physical goods or the transfer of software, data, technology, or know how which has a military application. The main areas of concern are military technology and technologies that can be used in nuclear, chemical, or biological weapons or their means of delivery. The transfer can be physical or electronic. Distribution is from the UK to the destination outside the UK.

There are three primary categories of control:

Military items

Items with a specific military application to be exported outside the UK fall into this category. The UK Consolidated List references the items that are controlled, including military items. If your item is on this list, then you need to obtain an export licence prior to transfer. If it is not on the list, you may need a licence under 3. below.

Items with a legitimate civilian application which also have military application, to be exported outside the EU, fall into this category. The UK Consolidated List includes dual use items. If your item is on this list, then you need to obtain an export licence prior to transfer. If it is not on the list, you may need a licence under 3. below.

However, if your dual use item is listed in Annex IV of the control list, then you will need to obtain an export licence prior to transfer within the EU.

You have been informed or are aware that the export maybe intended for use in connection with WMD. WMD is defined as 'use in connection with the development, production, handling, operation, maintenance, storage, detection, identification or dissemination of chemical, biological or nuclear weapons or other nuclear explosive devices, or the development, production, maintenance or storage of missiles capable of deliver of such weapons'1

Transfers of items or information within the UK are subject to export controls when you have been informed or are aware that that the ultimate end use is related to WMD outside the UK.

The key tests in end-use controls are awareness of WMD risk, or being informed of such a risk. Awareness requires specific reasons to believe an item is intended to WMD purposes, not simply that an items may have WMD application.

There is no automatic exemption for academics and researchers and their work.

Software and technology (but not goods) which are listed on the UK Consolidated List may be decontrolled if the dual-use item is in the public domain or used for basic scientific research. This means that items that do appear on the list but are in the public domain or being used for basic scientific research are exempted.

Basic scientific research is defined as 'experimental or theoretical work undertaken principally to acquire knowledge of the fundamental principles or phenomena or observable facts and not primarily directed towards a specific practical aim or objective'.2

Neither of these exemptions apply where there are specific end-use concerns.

The UK Consolidated List is a listing of controlled goods and technology for which an export licence is required. The UK Consolidated List is compiled from 7 lists in various pieces of international legislation.

Goods Checker is a search tool designed to find items on the UK Consolidated List. A tip on using the database is to search using single words, rather than a descriptive string. The Goods Checker will provide the 'control rating' (sometimes called the 'Control List entry') for an item. Make a note of this rating as you will need it to apply for a licence.

There are two categories of licence that are most likely for universities to need.

Open general export licences (OGELs)
OGELs are available for less restricted exports to less restricted destinations. OGELs are pre-published licences with set terms and conditions. There are currently over 40 OGELs available which cover a wide range of circumstances.

Standard individual export licences (SIELs)
If your goods, technology, software, destination or situation are not covered by an OGEL, you will need to apply for SIEL. SIELs are organisation and consignee specific, for a set quantity and/or value of goods. You will need to provide support documentation such as end-user undertakings with the application.

OGEL Checker is a search tool designed to find a suitable standard OGEL licence. Make a note of the name of the OGEL as you will need it to apply for a licence. If no OGEL is available, you will need to apply for a SIEL in order to export the item.

Where a licence is obtained, you will be informed through the SPIRE system and an ECO case officer will be assigned to you. The terms of the licence will list the rules covering your export. Subject to the terms, you may now export the item(s).

Record keeping is vital and an auditable record of all transfers made under a licence must be retained. The ECO or HMRC have a right to audit the operation of any licence. Experience to date suggests that audits are frequent and time-consuming if the right documents are not to hand. Documentation to be retained include the export licence, details of the transfer (email file, post, etc), forms such as the Single Administrative Document (SAD) required under the terms of your licence3, and any correspondence with the ECO.

Licences are typically granted for an individual item destined to a named recipient. If you would like to export other items or the same item to a different recipient, then a further licence must be obtained.

Export control licences do not mean that requirements of other controls have been met. For example, the Health & Safety Regulations must be met as well as the terms of your export control licence.

3 One copy of the SAD form is sent with the goods and one copy must be retained as a record.

If the technology was imported from the US and is subject to ITAR controls, export may be prohibited unless cleared within the supplier’s licence.

Ask the supplier if the technology is subject to ITAR controls and request a copy of the licence.

ITAR specifies that information and material concerning defence and military related technology (for items on the US Munitions List) may only be shared with US persons, unless authorisation is received from the US Department of State or a special exemption is used.